DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

C•••••• F•••••••• C••••••••• G••••• I•••

Former SEC-registered adviserSan Juan Capistrano, CaliforniaCRD 133657SEC 801-113545websiteIAPD
Latest filing Jul 11, 2025
First filing on the tape Jun 5, 2018 · 15 filings
SEC status approved since Jul 6, 2018
RAUM
$42.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$42.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$21.0M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$42.0M as of Jul 11, 2025
Mar 26, 2019$134M then
HNW client RAUM$30.0M as of Jul 11, 2025
Mar 26, 2019$53.6M then
State-registered IARs (5.B.3)2 as of Jul 11, 2025
Mar 26, 201910 then
Employees (5.A)5 as of Jul 11, 2025
Mar 26, 201918 then
Private funds: no history
RAUM -82% over the last fiscal year-39% a year over threeIARs 6 to 2
Practice profile
derived from the filing of Jul 11, 2025; every figure names its basis
RAUM per advisor
$21.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$168,181derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-82%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
-80%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$30.0M71%
  • Individuals$12.0M29%
Individual clients
79reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
250reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H••••• L•••• K••••••Certified Financial PlannerSan Juan Capistrano, CaMay 13, 200940 y1
J••• D••• F•••••San Juan Capistrano, Ca Jul 16, 200918 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F•••••• J•••• D••• · President/Chief Compliance Officercontrol
      since 01/2024 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    San Juan Capistrano, Ca · principal200
    Poway, Ca000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 3 to 2
      Jun 23, 2025 to Jul 11, 2025
    • Financial planning clients · 51-100 to 51-100
      Jun 23, 2025 to Jul 11, 2025
    • BD registered reps · 1 to 2
      May 8, 2025 to Jun 23, 2025
    • Accounts · 1,458 to 250
      Mar 27, 2024 to Mar 26, 2025
    • Advisory employees · 6 to 2
      Mar 27, 2024 to Mar 26, 2025
    • BD registered reps · 2 to 1
      Mar 27, 2024 to Mar 26, 2025
    • HNW clients · 72 to 28
      Mar 27, 2024 to Mar 26, 2025
    • Individual clients · 465 to 79
      Mar 27, 2024 to Mar 26, 2025
    • Employees · 12 to 5
      Mar 27, 2024 to Mar 26, 2025
    • Financial planning clients · 101-250 to 51-100
      Mar 27, 2024 to Mar 26, 2025
    • State-registered IARs · 6 to 2
      Mar 27, 2024 to Mar 26, 2025
    • Discretionary RAUM · $231M to $42.0M
      Mar 27, 2024 to Mar 26, 2025
    • HNW RAUM · $127M to $30.0M
      Mar 27, 2024 to Mar 26, 2025
    • Individual RAUM · $104M to $12.0M
      Mar 27, 2024 to Mar 26, 2025
    • RAUM · $231M to $42.0M
      Mar 27, 2024 to Mar 26, 2025
    • Accounts · 1,304 to 1,458
      Apr 11, 2023 to Mar 27, 2024
    • Advisory employees · 8 to 6
      Apr 11, 2023 to Mar 27, 2024
    • BD registered reps · 7 to 2
      Apr 11, 2023 to Mar 27, 2024
    • Charity clients · 8.0 to unset
      Apr 11, 2023 to Mar 27, 2024
    • Corporate clients · 14.0 to unset
      Apr 11, 2023 to Mar 27, 2024
    • HNW clients · 79 to 72
      Apr 11, 2023 to Mar 27, 2024
    • Individual clients · 224 to 465
      Apr 11, 2023 to Mar 27, 2024
    • Pension plan clients · 33.0 to unset
      Apr 11, 2023 to Mar 27, 2024
    • Insurance-licensed employees · 5 to 2
      Apr 11, 2023 to Mar 27, 2024
    • Financial planning clients · 51-100 to 101-250
      Apr 11, 2023 to Mar 27, 2024
    • HQ city · POWAY to SAN JUAN CAPISTRANO
      Apr 11, 2023 to Mar 27, 2024
    • State-registered IARs · 8 to 6
      Apr 11, 2023 to Mar 27, 2024
    • Other offices · 1 to 0
      Apr 11, 2023 to Mar 27, 2024
    • Discretionary RAUM · $178M to $231M
      Apr 11, 2023 to Mar 27, 2024
    • HNW RAUM · $74.8M to $127M
      Apr 11, 2023 to Mar 27, 2024
    • Individual RAUM · $91.7M to $104M
      Apr 11, 2023 to Mar 27, 2024
    • Pension RAUM · 4956822.0 to unset
      Apr 11, 2023 to Mar 27, 2024
    • RAUM · $178M to $231M
      Apr 11, 2023 to Mar 27, 2024
    • BD registered reps · 6 to 7
      Mar 29, 2023 to Apr 11, 2023
    • Insurance-licensed employees · 2 to 5
      Mar 29, 2023 to Apr 11, 2023
    • Accounts · 1,030 to 1,304
      Mar 28, 2022 to Mar 29, 2023
    • Advisory employees · 5 to 8
      Mar 28, 2022 to Mar 29, 2023
    • BD registered reps · 5 to 6
      Mar 28, 2022 to Mar 29, 2023
    • Charity clients · 9 to 8
      Mar 28, 2022 to Mar 29, 2023
    • Corporate clients · 12 to 14
      Mar 28, 2022 to Mar 29, 2023
    Signals
    11 dated events
    • C•••••• F•••••••• C••••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $42.0M)
      Dec 20, 2025 · Left the SEC roster · derived
    • C•••••• F•••••••• C••••••••• G••••• I••• reported RAUM $42.0M, down 82% from $230.8M (2024-03-27 to 2025-03-26)
      Mar 26, 2025 · RAUM change · derived
    • T•••• W• G••••• left C•••••• F•••••••• C••••••••• G••••• I••• for B••• S•• C•••••• C••••••••• G••••• I••• (registered 2024-05-13)
      Apr 25, 2024 · Advisor changed firm · fact
    • S•••• R•••••• N••• left C•••••• F•••••••• C••••••••• G••••• I••• for B••• S•• C•••••• C••••••••• G••••• I••• (registered 2024-02-02)
      Apr 3, 2024 · Advisor changed firm · fact
    • L•••• J••••• S••••••• left C•••••• F•••••••• C••••••••• G••••• I••• for B••• S•• C•••••• C••••••••• G••••• I••• (registered 2024-02-02)
      Apr 3, 2024 · Advisor changed firm · fact
    • M••••••• P• L•• left C•••••• F•••••••• C••••••••• G••••• I••• for B••• S•• C•••••• C••••••••• G••••• I••• (registered 2024-02-02)
      Apr 3, 2024 · Advisor changed firm · fact
    • C•••••• F•••••••• C••••••••• G••••• I•••'s advisors moved to B••• S•• C•••••• C••••••••• G••••• I••• (San Juan Capistrano, CA): 3 of 6 registered, on the same day
      Apr 3, 2024 · Firm absorbed (people side) · derived
    • Jerome Larry Steckler (President) no longer on Schedule A of C•••••• F•••••••• C••••••••• G••••• I••• (listed 2023-04-11, absent 2024-03-27)
      Mar 27, 2024 · Control person left · inference
    • R• B•• left C•••••• F•••••••• C••••••••• G••••• I••• for I••••••••• F•••••••• G••••• L•• (registered 2025-01-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • Shawn Michael Wynns (Chief Financial Officer) no longer on Schedule A of C•••••• F•••••••• C••••••••• G••••• I••• (listed 2019-03-26, absent 2020-03-25)
      Mar 25, 2020 · Control person left · inference
    • C•••••• F•••••••• C••••••••• G••••• I••• filed its initial SEC registration (Form ADV)
      Jun 5, 2018 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Website
    w••.c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $21.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026